Putman-Garcia Krystal

SEC source: 0000950170-24-029660 · ownership.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · CMO and GM, Advocacy

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,725

F1 · shares: Represents shares of the Issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0000950170-24-013436 · ownership.xml · nonDerivative · entry 2

Putman-Garcia Krystal · CIK 0001937665 · CMO and GM, Advocacy

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,056

F2 · shares: Represents shares of the Issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0000950170-24-013436 · ownership.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · CMO and GM, Advocacy

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,387

F1 · shares: Represents shares of the Issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 4,995 restricted stock units.

SEC source: 0000950170-24-003479 · ownership.xml · nonDerivative · entry 2

Putman-Garcia Krystal · CIK 0001937665 · CMO and GM, Advocacy

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,316

F2 · shares: Represents shares of the Issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0000950170-24-003479 · ownership.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · CMO and GM, Advocacy

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,647

F1 · shares: Represents shares of the Issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 1,250 restricted stock units.

SEC source: 0001209191-23-058094 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,130

F1 · shares: Represents shares of the Issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0001209191-23-054818 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,461

F1 · shares: Represents shares of the Issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0001209191-23-052739 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,792

F1 · shares: Represents shares of the Issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 856 restricted stock units.

SEC source: 0001209191-23-052554 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,123

F1 · shares: Represents shares of the Issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 4,995 restricted stock units.

SEC source: 0001209191-23-049033 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,052

F1 · shares: Represents shares of the Issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0001209191-23-044966 · doc4.xml · nonDerivative · entry 2

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,383

F2 · shares: Represents shares of the Issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0001209191-23-044966 · doc4.xml · derivative · entry 3

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Class A Common Stock · 50,000 shares

Expires 2033-07-31

F3 · derivative.exercise_date: These Stock Options (the "Options") vest over a four year period as follows: One-fourth (1/4th) of the Options will vest upon the one-year anniversary of August 1, 2023, with the remainder vesting ratably each fiscal quarter thereafter.

SEC source: 0001209191-23-044966 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,714

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock. These RSUs vest over three years as follows: One-third (1/3rd) of the RSUs will vest upon the one-year anniversary of August 1, 2023, with the remainder vesting ratably each fiscal quarter thereafter.

SEC source: 0001209191-23-042006 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,714

F1 · shares: Represents shares of the Issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0001209191-23-035528 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,045

F1 · shares: Represents shares of the issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0001209191-23-028491 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,376

F1 · shares: Represents shares of the issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0001209191-23-024013 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,707

F1 · shares: Represents shares of the issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0001209191-23-017611 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,038

F1 · shares: Represents shares of the issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0001209191-23-008162 · doc4.xml · derivative · entry 3

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Class A Common Stock · 15,000 shares

Expires 2033-02-06

F3 · derivative.exercise_date: These Stock Options (the "Options") vest over a four year period as follows: One-fourth (1/4th) of the Options will vest on the one-year anniversary of February 7, 2023, with the remainder vesting ratably each fiscal quarter thereafter.

SEC source: 0001209191-23-008162 · doc4.xml · nonDerivative · entry 2

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,369

F2 · shares: Represents shares of the issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0001209191-23-008162 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,855

F1 · shares: Each RSU represents a contingent right to receive one share of Class A Common Stock. These Restricted Stock Units ("RSUs") vest over three years. One-third (1/3rd) of the RSUs will vest on the one-year anniversary of February 7, 2023, with the remainder vesting ratably each fiscal quarter thereafter.

SEC source: 0001209191-23-003041 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,855

F1 · shares: Represents shares of the issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0001209191-22-060503 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,186

F1 · shares: Represents shares of the issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 857 restricted stock units.

SEC source: 0001209191-22-056237 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,472

F1 · shares: Represents shares of the issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 10,281 restricted stock units.

SEC source: 0001209191-22-053185 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,847

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock. One-third (1/3) of the total number of RSUs will vest on the first anniversary of the vesting commencement date. One-twelfth (1/12) of the total number of RSUs will vest on the corresponding day of each quarter thereafter (and if there is no corresponding day, the last day of such month). The vesting commencement date for the RSUs is October 5, 2022.

SEC source: 0000899243-22-027474 · doc4.xml · derivative · entry 5

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,282

Underlying: Class A Common Stock · 10,282 shares

Expires 2031-12-22

F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities.

F11 · price: Received in the Business Combination in exchange for 8,663 ISOs of Legacy FiscalNote.

F10 · derivative.exercise_date: The ISOs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the ISOs to vest and become exercisable prior to the expiration date. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to 25% of the total number of ISOs on the first anniversary of the vesting commencement date, and as to an additional 6.25% of the total number of shares subject to the ISOs on the corresponding day of each quarter thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month). The vesting commencement date is November 7, 2021.

SEC source: 0000899243-22-027474 · doc4.xml · derivative · entry 4

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,480

Underlying: Class A Common Stock · 47,480 shares

Expires 2031-07-28

F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities.

F9 · price: Received in the Business Combination in exchange for 40,000 ISOs of Legacy FiscalNote.

F8 · derivative.exercise_date: The ISOs vest over a four-year period as follows: (i) 10% of the underlying shares vest on the first anniversary of the vesting commencement date, (ii) 5% of the underlying shares vest on the corresponding day of each quarter during the second year and (iii) 8.75% of the underlying shares vest on the corresponding day of each quarter during the third and fourth years, subject to the Reporting Person's continuous employment through such date. If there is no corresponding day, the vesting will occur on the last day of such month. The vesting commencement date is July 12, 2021.

SEC source: 0000899243-22-027474 · doc4.xml · derivative · entry 3

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,805

Underlying: Class A Common Stock · 17,805 shares

Expires 2030-07-28

F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities.

F7 · price: Received in the Business Combination in exchange for 15,000 ISOs of Legacy FiscalNote.

F6 · derivative.exercise_date: The ISOs vest over a four-year period as follows: (i) 10% of the underlying shares vest on the first anniversary of the vesting commencement date, (ii) 5% of the underlying shares vest on the corresponding day of each quarter during the second year and (iii) 8.75% of the underlying shares vest on the corresponding day of each quarter during the third and fourth years, subject to the Reporting Person's continuous employment through such date. If there is no corresponding day, the vesting will occur on the last day of such month. The vesting commencement date is April 23, 2020.

SEC source: 0000899243-22-027474 · doc4.xml · derivative · entry 2

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,740

Underlying: Class A Common Stock · 23,740 shares

Expires 2029-05-01

F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities.

F5 · price: Received in the Business Combination in exchange for 20,000 ISOs of Legacy FiscalNote.

F4 · derivative.exercise_date: The incentive stock options ("ISOs") vest over a four-year period as follows: (i) 10% of the underlying shares vest on the first anniversary of the vesting commencement date, (ii) 5% of the underlying shares vest on the corresponding day of each quarter during the second year and (iii) 8.75% of the underlying shares vest on the corresponding day of each quarter during the third and fourth years, subject to the Reporting Person's continuous employment through such date. If there is no corresponding day, the vesting will occur on the last day of such month. The vesting commencement date is April 8, 2019.

SEC source: 0000899243-22-027474 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,847

F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities.

F2 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock. The RSUs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the RSUs to vest and become exercisable prior to the expiration date. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to one-third of the total number of RSUs on the first anniversary of the vesting commencement date, and as to an additional one-thirty-sixth (1/36) of the total number of RSUs on the corresponding day of each month thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month). The vesting commencement date is November 7, 2021.

F3 · price: Received in the Business Combination in exchange for 25,988 RSUs of Legacy FiscalNote.